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RCM

Rivernorth Capital Management Portfolio holdings

AUM $2B
1-Year Est. Return 0.79%
This Fund
S&P 500
This Quarter Est. Return
+0.75%
1 Year Est. Return
-0.79%
3 Year Est. Return
+4.8%
5 Year Est. Return
-8.69%
10 Year Est. Return
+11.73%
AUM
$1.76B
AUM Growth
+$131M
Cap. Flow
+$95.5M
Cap. Flow %
5.44%
Top 10 Hldgs %
28.21%
Holding
219
New
21
Increased
90
Reduced
49
Closed
21

Top Buys

Rank Stock Value
1
ACAS
American Capital Ltd
ACAS
+$29.3M
2
OCSL icon
Oaktree Specialty Lending
OCSL
+$21.2M
3
KYN icon
Kayne Anderson Energy Infrastructure Fund
KYN
+$16.2M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$14.6M
5
NCZ
Virtus Convertible & Income Fund II
NCZ
+$13.3M

Top Sells

Rank Stock Value
1
HCF
NEXPOINT CREDIT STRATEGIES FUND
HCF
+$29.4M
2
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$16.5M
3
VMO icon
Invesco Municipal Opportunity Trust
VMO
+$7.57M
4
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$5.56M
5
NBB icon
Nuveen Taxable Municipal Income Fund
NBB
+$5.46M

Sector Composition

Rank Sector Weight
1 Financials 8.56%
2 Real Estate 0.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NFJ
176
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.43B
$848K 0.05%
+68,402
New +$867K
JHP
177
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$828K 0.05%
97,578
-165,167
-63% -$1.4M
RGT
178
Royce Global Value Trust
RGT
$102M
$817K 0.05%
109,716
+29,992
+38% +$222K
ARCC icon
179
Ares Capital
ARCC
$14.4B
$764K 0.04%
53,580
-270,018
-83% -$4.1M
DRA
180
DELISTED
Diversified Real Asset Income Fd
DRA
$664K 0.04%
42,842
-146,523
-77% -$2.38M
CXE
181
DELISTED
MFS High Income Municipal Trust
CXE
$638K 0.04%
129,840
-172,857
-57% -$835K
CFD
182
DELISTED
Nuveen Diversified Commodity Fnd
CFD
$614K 0.04%
68,040
– –
FAV
183
DELISTED
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
$609K 0.03%
71,952
+37,934
+112% +$312K
VBF icon
184
Invesco Bond Fund
VBF
$169M
$604K 0.03%
34,394
-65,387
-66% -$1.18M
BRW
185
Saba Capital Income & Opportunities Fund
BRW
$339M
$463K 0.03%
+45,718
New +$459K
AFT
186
DELISTED
Apollo Senior Floating Rate Fund Inc.
AFT
$449K 0.03%
29,661
+6,655
+29% +$102K
FCO
187
DELISTED
abrdn Global Income Fund
FCO
$384K 0.02%
+49,929
New +$390K
PFL
188
PIMCO Income Strategy Fund
PFL
$388M
$382K 0.02%
39,261
-85,303
-68% -$853K
GGZ
189
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$127M
$344K 0.02%
33,117
+17,780
+116% +$184K
AGD
190
abrdn Global Dynamic Dividend Fund
AGD
$320M
$285K 0.02%
+32,200
New +$289K
TSLF
191
DELISTED
THL CREDIT SENIOR LOAN FUND
TSLF
$232K 0.01%
+14,655
New +$225K
NQI
192
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
$195K 0.01%
14,309
– –
ACSF
193
DELISTED
American Capital Senior Floating, Ltd.
ACSF
$98K 0.01%
+10,000
New +$107K
IQI icon
194
Invesco Quality Municipal Securities
IQI
$534M
$49K ﹤0.01%
3,864
-149,499
-97% -$1.84M
JGV
195
DELISTED
NUVEEN GLOBAL EQUITY INCOME FUND
JGV
$43K ﹤0.01%
+3,962
New +$43K
SEVN
196
Seven Hills Realty Trust
SEVN
$174M
$24K ﹤0.01%
1,313
-1,257
-49% -$22.7K
ZF
197
DELISTED
Virtus Total Return Fund Inc.
ZF
$24K ﹤0.01%
+1,800
New +$24K
HNW
198
DELISTED
Pioneer Diversified High Income Fund
HNW
$21K ﹤0.01%
+1,472
New +$21.4K
BBN icon
199
BlackRock Taxable Municipal Bond Trust
BBN
$986M
– –
-136,149
Closed -$2.75M
BKT icon
200
BlackRock Income Trust
BKT
$341M
– –
-7,366
Closed -$139K
5 6 7
8
9

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Rivernorth Capital Management's Q4 2015 Portfolio in Review

As of Q4 2015, Rivernorth Capital Management held 219 positions worth $1.76B, up 8% from $1.63B the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Rivernorth Capital Management deployed $95.5M of net new capital in Q4 2015, opening 21 new positions and adding to 90 existing holdings. Its largest new stake was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.

By sector, the portfolio is most concentrated in Financials at 8.6% of assets, up from 7.4% a quarter earlier, followed by Real Estate.

On the sell side, the largest reduction was NEXPOINT CREDIT STRATEGIES FUND, an estimated $29.4M trimmed.

  • Rivernorth Capital Management's largest Q4 2015 buy was Kayne Anderson Energy Infrastructure Fund: 814,633 shares worth $14.1M.
  • Rivernorth Capital Management added most to American Capital Ltd in Q4 2015, an estimated $29.3M increase.
  • Rivernorth Capital Management's biggest Q4 2015 reduction was NEXPOINT CREDIT STRATEGIES FUND, cutting an estimated $29.4M.
  • Rivernorth Capital Management fully exited Invesco Municipal Opportunity Trust in Q4 2015, selling an estimated $7.57M.
  • Rivernorth Capital Management's ten largest holdings make up 28% of its $1.76B portfolio in Q4 2015.
  • Rivernorth Capital Management opened 21 new positions and closed 21 in Q4 2015.
  • Rivernorth Capital Management's portfolio value rose 8% quarter-over-quarter to $1.76B.

Based on Rivernorth Capital Management's 13F filing for Q4 2015, filed 16 Feb 2016.